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About the Role

We are seeking a Senior Compliance Manager – Regulatory Engagement with strong expertise in CIRO rules, securities regulation, and technology‑driven change initiatives. The position has dual reporting lines and the successful candidate will play a key leadership role in a major platform modernization initiative, including preparing regulatory submissions, coordinating with regulators, and ensuring compliance with all applicable requirements.

Responsibilities

Prepare, coordinate, and assist finalizing required regulatory submissions and applications for approval and/or exemptive relief, particularly with CIRO.
Document current‑state and future‑state operating models, identifying required compliance impacts.
Ensure regulatory documentation is complete, accurate, and aligned with Project timelines.
Provide compliance leadership for technology and process modernization, ensuring alignment with applicable rules and regulations, trading requirements, and internal policies.
Support changes to compliance programs, supervisory controls, and monitoring frameworks resulting from the Project.
Participate in monitoring, testing, risk assessments, and audit processes triggered by modernization changes.
Build and maintain strong senior‑level stakeholder relationships across business, operations, technology, risk, legal & regulatory compliance, and other groups.
Lead and influence cross‑functional discussions to drive regulatory readiness and business engagement.
Develop communications, briefings, and presentations for internal stakeholders, senior committees, and regulators.

Requirements

University degree and 8+ years of compliance or regulatory experience in financial services, including significant involvement in technology projects requiring regulatory approvals or exemptive relief.
Completion of the CSC, Investment Dealer Supervisors Course, or equivalent credentials.
Deep knowledge of CIRO rules, UMIR, securities laws, and Canadian trading requirements.
Strong understanding of electronic trading platforms and broader trading ecosystems.
Experience preparing or contributing to major regulatory change initiatives, including CIRO Notice of Material Business Change forms.
Strong analytical and critical‑thinking abilities; able to assess regulatory impacts and propose compliant solutions.
Exceptional written and verbal communication skills, particularly in translating technology and regulatory content for non‑technical stakeholders.
Ability to alternate between working independently and collaboratively.
High professionalism, ethics, and integrity.
Ability to navigate ambiguity, manage multiple priorities, and work effectively in a fast‑moving project environment.
Experience with regulatory audits, including CIRO panel audits.
Experience in monitoring and testing programs.
Project management certifications or equivalent experience.
Prior status as an Approved Person under CSA or CIRO rules or experience at a regulator.

Skills

CIRO rules
securities regulation
technology-driven change initiatives
regulatory submissions
regulatory engagement
compliance programs
supervisory controls
monitoring frameworks
risk assessments
audit processes
stakeholder management
cross-functional leadership
communication
analytical skills
critical-thinking
electronic trading platforms
trading ecosystems
project management

Location

100 King Street West

Work Type

Salaried

Experience Level

8+ years of compliance or regulatory experience

Education Level

University degree
Completion of the CSC, Investment Dealer Supervisors Course, or equivalent credentials.

Salary/Compensations

$94,600.00 - $176,000.00

Benefits

health insurance
tuition reimbursement
accident and life insurance
retirement savings plans

About the Company

BMO Nesbitt Burns, part of BMO Private Wealth, is one of North America’s leading full‑service investment advisory firms, offering comprehensive wealth management supported by deep market insight and institutional‑grade resources.
Our Private Client Division provides personalized wealth advisory, sophisticated investment solutions, and the support of a multidisciplinary expert network.
At BMO we are driven by a shared Purpose: Boldly Grow the Good in business and life. It calls on us to create lasting, positive change for our customers, our communities and our people. By working together, innovating and pushing boundaries, we transform lives and businesses, and power economic growth around the world.
As a member of the BMO team you are valued, respected and heard, and you have more ways to grow and make an impact. We strive to help you make an impact from day one – for yourself and our customers. We’ll support you with the tools and resources you need to reach new milestones, as you help our customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we’ll help you gain valuable experience, and broaden your skillset.

Equal Opportunity

BMO is committed to an inclusive, equitable and accessible workplace. By learning from each other’s differences, we gain strength through our people and our perspectives. Accommodations are available on request for candidates taking part in all aspects of the selection process. To request accommodation, please contact your recruiter.